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SOUTHWEST SECURITIES (HK) FUTURES LIMITED公開紀律行動
SOUTHWEST SECURITIES (HK) FUTURES LIMITED 西證(香港)期貨有限公司
證監會持牌法團
證監會中央編號:
AAZ149
主要資料
人員
證監會牌照
牌照條件
公開紀律行動
公開紀律行動
SFC bans Cham Nga Yin, ex-Southwest Securities, for life
SFC, 09-Aug-2018
機構
人物
SFC reprimands and fines Tanrich Futures Ltd, bans Mr Yip Man Fan for 9 months
SFC, 02-Jun-2009
Yes, but he's still the Chairman and controlling shareholder of the brokerage's listed owner, Tanrich Financial Holdings Ltd.
機構
人物
SFC prohibits Ben Chan Ka Cheuk from re-entering industry for 4 months for cold calling
SFC, 03-Nov-2008
Comment: this is the 15th employee of Tanrich to be disciplined since 2004. Surely at some point the SFC should revoke the firm's license?
機構
人物
SFC suspends Ms Chow Yin Shan for 8 months
SFC, 27-Jun-2007
機構
人物
SFC suspends Mr Bowie So Chi Kit for 6 months
SFC, 02-May-2007
機構
人物
SFC suspends Ms Leung Wing for 9 weeks
SFC, 27-Apr-2007
機構
人物
SFC bans Mr Sze Fan Hoi for 7 months
SFC, 26-Apr-2007
機構
人物
Ms Leung Wing v SFC
SFAT, 25-Apr-2007
機構
人物
SFC suspends Mr Calvin Ting Chun Hin for 2 months
SFC, 22-Mar-2007
機構
人物
SFC suspends Ms Ip Pui Lan of Tanrich Futures Ltd for 4 months
SFC, 22-Nov-2006
機構
人物
SFC bans Mr Leung Chin Pang for 6 months for cold calling and failing to give reasonable investment advice
SFC, 19-Jul-2006
機構
人物
SFC suspends Mr Keung Man Bun for 6 months
SFC, 06-Jun-2006
機構
人物
SFC bans Mr Chau Sik Ki for 4 months for cold calling
SFC, 26-Apr-2006
機構
人物
SFC suspends Agnes Mak Wing Shun for 4 months for failures to comply with SFO and to give reasonable investment advice
SFC, 31-Mar-2006
機構
人物
SFC bans Mr Wong Yu Kit for 6 months
SFC, 13-Mar-2006
機構
人物
SFC bans Mr Lam Wing Chit for 3 months
SFC, 01-Mar-2006
機構
人物
SFC prosecutes Mr Chau Sik Ki for cold calling
SFC, 24-Jan-2006
機構
人物
SFC bans Mr Chow Wai Ho for 3 months for cold calling
SFC, 11-Jan-2006
機構
人物
SFC prosecutes Ms Leung Wing for cold calling
SFC, 01-Dec-2005
機構
人物
SFC prosecutes Mr Lam Wing Chit for cold calling
SFC, 17-Nov-2005
機構
人物
SFC prosecutes Agnes Mak Wing Shun for cold calling
SFC, 10-Nov-2005
機構
人物
SFC prosecutes Mr Chow Wai Ho for cold calling
SFC, 29-Sep-2005
機構
人物
SFC suspends Mr Shiu Yau Wah for 4 months for cold calling
SFC, 15-Dec-2004
機構
人物
SFC suspends Mr Dickson Kam Chun Wah, for 3 months for account opening failings
SFC, 15-Dec-2004
機構
人物
SFC prosecutes Miss Mean Lam Suk Kuen and Mr Lau Chun Kwok for cold calling
SFC, 30-Sep-2004
機構
人物
Cold calling is illegal
SFC, 27-Sep-2004
機構
SFC reprimands Tanrich Futures Ltd for internal control failures
SFC, 21-Apr-2004
機構
SFC prosecutes Mr Shiu Yau Wah for cold calling
SFC, 21-Apr-2004
機構
人物
SFC reprimands Ms Elaine Lau Yim Ling for impropriety
SFC, 21-Apr-2004
機構
人物
Tanrich Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 13-Sep-2001
機構
人物
Pan Guoqiang prosecuted for misleading SFC in application to join Tanrich Futures Ltd
SFC, 12-Nov-1999
機構
人物